Commission No. SorDor. 46/2552 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House ---------------------- By virtue of Section 14, Section
trading. This resulted in high impact on RICH shares trading values and volumes while a number of trading orders were matched within the said group. {B} {C} and {D} aided or abetted the aforesaid actions
Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating
of the provisions under Section 9 and Section 16 of the Derivatives Act B.E. 2546, the Securities and Exchange Commission hereby grants to which is registered as registration number at on (date/month
Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in
and volume. In addition, a number of trading orders were also matched within the group to induce the public into the trading of RICH shares. Previously, the Settlement Committee on January 22, 2014
Bangkok, June 16, 2015 ? The SEC is seeking public comment on the draft regulations to be issued under Section 152 of the Derivatives Act B.E. 2546 (2003) on payment of bounty to the informer. Under
comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as he failed to prepare and submit (1) a report on the total number
the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment